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Deputy Chief Compliance Officer

COR Clearing LLC Omaha, NE

Job Description

Deputy Chief Compliance Officer


The COR Clearing Compliance Department’s primary goal is to meet the regulatory and compliance needs of the Firm, continuously striving for efficiency and effectiveness.  The Compliance Department undertakes periodic audits; provides training; maintains registrations; responds to complaints, handle privacy breaches and regulatory requests and is the principal interface for the firm during regulatory exams.  In addition, a few of the Compliance Department’s responsibilities include FINRA 3110 Supervision and Supervisory Control and FINRA 4311 Clearing Firm Notification to IBD of Reports, reviewing employee trading, and responsible for Blue Sheet reporting.

Job Summary

The Deputy Chief Compliance Officer will report to the Chief Compliance Officer.  This position requires familiarity with FINRA and SEC rules and regulations regarding Broker/Dealers and Registered Investment Advisors.  The Deputy CCO is responsible for handling the day-to-day compliance activities, work closely with Senior Management, Operations, and IT on projects and issues. This person needs to be able to work independently, have attention to detail, be familiar with the firm’s WSPs, policies and procedures.

Job Functions

·         Monitor reports of various activities with IBDs, RIAs and COR.

·         Assist with regulatory exams and requests.

·         Oversight of various compliance duties.

·         Ensure compliance with firm projects.

·         Monitor and implement SEC and FINRA rule changes.

·         Assist in maintaining current Books and Records.

·         Establish and maintain a monitoring system regarding Direct Accounts.

·         Primary liaison to correspondent brokerage firms to advise of compliance issues.

·         Assist with Firm CE training.

·         Provide back support to CCO and other compliance team members as needed.

·         Assist in updating WSPs, Policies, Programs and Procedures.

Desired Skills and Experience


·         Broad knowledge of FINRA and SEC rules and regulations.

·         In-depth knowledge of securities products and industry customs

·         Minimum of (5) years of prior securities industry experience.  Preferably (2) of the years

being in compliance.

  • FINRA licenses – Series 7 and 24.  (Series 7 is required at time of hire and Series 24 must be obtained within 6 months of being hired.)       


·         Portfolio Management knowledge

·         Excellent organizational and time management skills

·         Strong problem solving skills

Job Details

Date Posted September 7, 2017
Date Closes October 7, 2017
Address 1299 Farnam Street
Located In Omaha, NE
Work At The Landmark Building
Department Compliance
Job Type Full-time Employee
Compensation Salary, Based on Experience
Experience Level Intermediate (3-7 yrs. experience)
Start Date Immediately
Positions Available 1
SOC Category 11-9199.02 Compliance Managers
Zipcode 68102
Name Christine Hansen
Address 1299 Farnam Street, Suite 800
City, State and Zip Omaha, NE 68102
Phone (402) 384-6104
FAX (402) 384-6125

This job offers the following benefits

  • 401(k) Retirement Savings Plan
  • Dependent-Care Spending Accounts
  • Flexible Spending Accounts
  • Health-Care Spending Accounts
  • Accidental Death and Dismemberment
  • Dental
  • Dependent Life Insurance
  • Employee Assistance Program (EAP)
  • Life Insurance
  • Long-Term Disability
  • Maternity / Paternity / Family Leave
  • Medical
  • Prescription Drug Plan
  • Professional Liability
  • Short-Term Disability
  • Supplemental Insurance
  • Vision
  • Voluntary Life Insurance
  • Employee Referral Program
  • Free Parking
  • Paid Holidays
  • Paid Vacations
  • Sick Leave
  • Unpaid Leaves of Absence
  • Bonus Plan

This job requires the following skills

  • Business - Communication
  • Business - Ethics Awareness
  • Business - Strategy Development
  • Risk Management
  • Team Management
  • Compliance
  • Due Diligence
  • Finance Management
  • Financial Examiner
  • Fraud Examiner
  • Fraud Investigations
  • Internal Auditing
  • Regulatory Compliance
  • Risk Manager
  • SEC Filings (10-K, 10-Q, etc.)
  • Problem Resolution
  • Strong Flexibility / Adaptability
  • Strong Time Management
  • Strong Work Ethic

Course(s) relevant to the skills listed for this position

At a Glance
Enjoy these benefits
  • 401(k) Retirement Savings Plan
  • Dependent-Care Spending Accounts
  • Flexible Spending Accounts
  • Health-Care Spending Accounts
  • Accidental Death and Dismemberment
  • And More ...